Associate, Compliance Solutions

Role Overview

• Assist in compiling information for license applications, regulatory filings (such as FRR, BRMQ), and compliance reports.
• Assist client on day-to-day ongoing compliance obligation.
• Assist in delivering compliance projects.
• Assist in preparing and updating compliance documentation, including policies, procedures, and templates.
• Support the team in conducting regulatory research.
• Help maintain records of compliance work, including checklists, supporting documents, and reports.
• Contribute to the drafting of knowledge articles, training materials, or internal resources.
• Provide administrative and project support to team leaders as required.

Requirements

• Completed a degree in Law, Business, Finance, Accountancy, or related field.
• Experience in SFC compliance (consultancy or in-house), FRR, or legal and regulatory compliance research is preferred, but not mandatory.
• Good research, analytical, and communication skills.
• Proficient in Microsoft Office (Word, Excel, PowerPoint).
• Detail-oriented, proactive, and willing to learn.
• Strong interest in compliance, regulation, and financial services.
• Proficiency in Cantonese, English and Mandarin is preferred.